| 16-00955 | 08/31/2017 | Claimant(s): Heath Marell, James Marell, Susan Marell
Claimant Lawyers(s): Matt Simmons
Respondent(s): Mark Plummer, Texas E&P Partners.
Respondent Lawyers(s): Charles W. Gameros
Arbitrator(s): Karen L. Crump-Wilson, Christopher M. McMurray, Jeffrey Axelrad
Hearing Site: Washington, DC
|  | $299,772 |
| 17-00542 | 08/02/2017 | Claimant(s): Securities America.
Claimant Lawyers(s): Christina Heller
Respondent(s): Jollene Austin
Respondent Lawyers(s): Jollene Jill Austin
Arbitrator(s): Christopher M. McMurray
Hearing Site: Charlotte, NC
| | |
| 15-02046 | 07/21/2017 | Claimant(s): Harold Garner, Shirley Garner
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Ameriprise Financial Services., Michael Sommerfield
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Douglas Earl McLaren, Christopher M. McMurray, Eric Erdheim
Hearing Site: Baltimore, MD
| | Expungement |
| 16-00509 | 06/14/2017 | Claimant(s): Next Financial Group.
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Erryn Barkett
Respondent Lawyers(s): Sean M. Golden
Arbitrator(s): Christopher M. McMurray, Alison Wright Feehan, Peter B. Loewenberg
Hearing Site: Richmond, VA
| | |
| 16-00314 | 03/07/2017 | Claimant(s): Beverly Carroll
Claimant Lawyers(s): Robert A.W. Boraks
Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Respondent Lawyers(s): David J. Sensenig
Arbitrator(s): Christopher M. McMurray, Michael R. Snow, Olivia Milbank Farrar
Hearing Site: Washington, DC
| | |
| 14-02852 | 12/01/2016 | Claimant(s): Omega Facility Services Solutions Surety
Claimant Lawyers(s): Brandon S. Steele
Respondent(s): Edward Herbst, Wellington Shields & Co.
Respondent Lawyers(s): Neil A. Sussman
Arbitrator(s): Thomas H. Barnard, Christopher M. McMurray, John C. Aten
Hearing Site: Charleston, WV
| | $0 |
| 14-01415 | 08/05/2016 | Claimant(s): Susan Mueller
Claimant Lawyers(s): Dale R. Jensen
Respondent(s): David Thompson, Wall Street Financial Group.
Respondent Lawyers(s): Marni Rae Robin, Michael Schwartzberg
Arbitrator(s): Richard E. Lauziere, Christopher M. McMurray, David R. Johnson
Hearing Site: Richmond, VA
| | $0 |
| 15-00589 | 01/27/2016 | Claimant(s): Catherine Boland, Richard Graves
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Dawn Bennett, Western International Securities.
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): James A. Hayes, Christopher M. McMurray
Hearing Site: Baltimore, MD
| | Expungement |
| 15-02650 | 01/25/2016 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Karen P. Gaster
Respondent(s): Brendan O'Connell
Respondent Lawyers(s): Brendan O'Connell
Arbitrator(s): Christopher M. McMurray
Hearing Site: Baltimore, MD
| | |
| 14-02348 | 12/04/2015 | Claimant(s): Joseph Cullen
Claimant Lawyers(s): Joseph Orval Cullen
Respondent(s): Bradford Hewitt, Knut Olson, Stephen Molen
Respondent Lawyers(s): Lindsay Wuller
Arbitrator(s): Alan S. Carmel, John H. West, Christopher M. McMurray
Hearing Site: Baltimore, MD
| | |
